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Showing 1421 to 1430 of 2368 search results for This Final Notice refers to a failure.

1421. Final Notice 2018: Angela Burns [pdf]

      Final notices Published: 14/12/2018
      This final notice (Angela Burns) refers to breaches by a non-executive director of APER 1 for failing to declare conflicts of interest and FIT for lack of fitness/propriety. We imposed a fine and prohibition.

1422. Final Notice 2018: David James Carter Mullins [pdf]

      Final notices Published: 25/07/2018
      This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition.

1423. FCA Final Notice 2013: John Patrick Morris [pdf]

      Final notices Published: 15/08/2013 Last modified: 07/04/2015
      This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and cancellation.

1424. Final Notice 2015: Kweku Mawuli Adoboli [pdf]

      Final notices Published: 16/10/2015 Last modified: 16/10/2015
      This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition.

1425. Final Notice 2017: Kenneth Wills [pdf]

      Final notices Published: 11/04/2017
      This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

1426. Notice of Decision 2023: Technology Consulting Finance Limited [pdf]

      Decision notices Published: 11/09/2023
      This Notice of Decision (Technology Consulting Finance Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

1427. Final notice 2020: Exigotrade Ltd [pdf]

      Final notices Published: 28/01/2020
      This final notice (Exigotrade Ltd) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

1428. FCA Final Notice 2014: Go Transfer Limited [pdf]

      Final notices Published: 11/08/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

1429. Final Notice 2016: Adam Philip Hawkins [pdf]

      Final notices Published: 01/11/2016
      This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

1430. Final Notice 2018: Darren Lee Newton [pdf]

      Final notices Published: 20/12/2018
      This final notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.